to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount

SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers

holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital

funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to conclude the discussion and sign the MoU within the second quarter this year before cross-border offerings

consultant for three months, which is  counted as part of the five-year ban, SEC shall continue to ban her from re-entering the industry for another four years and nine months, starting from 15 January 2020

liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to

SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25

risk management. SEC subsequently conducted a public hearing on the approved principles during the months of April and May 2020 to which all respondents agreed with the principles for amending the repo

On 24 July 2020, NEWS will hold an extraordinary shareholders’ meeting to seek the shareholders’ approval for the acquisition of ordinary shares of Wealth Ventures, which operates Mercure Hotel

The SEC has implemented the regulatory guillotine scheme,** which aims to review and revise regulations to suit the current situations, enhance competitiveness, and facilitate operations of